Spring 2012 Compliance Conference
ACA Personal Trading Compliance™
ACA will be providing on-site live demos of the Personal Trading Compliance™ (“PTC™”) service at the Spring 2012 Compliance Conference.
This client-tailored service provides compliance officers with the extensive functionality needed to achieve consistent compliance with personal trading regulations. It does this through a web-based application that incorporates Compliance Science, Inc.'s market-leading Personal Trading Control Center™ (“PTCC™”) technology. The combination of ACA’s compliance expertise and client service and Compliance Science’s PTCC software provides advisory firms with an effective, intelligent solution to their personal trading compliance needs.
ACA's PTC features
- trade preclearance forms with automated rules testing,
- automated restricted trading and other compliance list matching,
- gifts and entertainment reporting,
- political contributions and outside business activity forms,
- forensic reporting capabilities,
- a comprehensive audit trail of all system activity, and
- first level support from ACA's dedicated PTC team.
The demo sessions are scheduled for 9:00 am and 11:00 am on Wednesday, April 25th. To register for one of the sessions, please RSVP below.
CPE & CLE Credits
ACA will be applying for CLE Credits in certain states. For full details, click the link below.